MODULE 1: INTRODUCTION TO RECORDS AND

INFORMATION MANAGEMENT
Module Description: This module is designed to introduce participants to the basic
concepts and principles of Records and Information Management. Participants will
learn about the records’ life cycle, the characteristics, value, formats, and types of
records. Additional RIM perspectives will be introduced to provide a global context
of RIM.

Module Objectives:
At the end of the module participants should be able to:
Knowledge
 Define Records and Information Management
 Explain the basic principles that guide records management in the Government of Jamaica
 Describe the value of records
 Differentiate between records and non-records
 Identify the various formats and types of records
 Graphically illustrate the records life cycle
Performance
 Categorize records according to their value and type
 Separate records from non-records
Attitude
 Demonstrate an appreciation for the value of records keeping

Additional Reading

 GoJ RIM Procedures – July 2018

 GoJ RIM Policy
 Gov’t streamlining RIM across MDAs
 Effective RIM Critical - Cox
 The Principles and Information Governance Maturity Model – VERY IMPORTANT
 Throughout your lifespan up until today. Look at your personal space, other
locations you have lived or visited and complete the table below.

Items used Items Used Items No Items Keeping Items Destroy or

Daily Sometimes Longer Used Permanently Should be
Destroyed

WHAT IS A RECORD?

Current records

– information created, received, and maintained as evidence and as asset by an

organization or person, in pursuit of legal obligations or in the transaction of
business.

Semi-current records

– Records required only occasionally on a as needed basis to conduct current

business. Also known as semi-active records. Semi-current records will
 normally be maintained in a records centre or other offsite intermediate
storage pending their ultimate disposal.

Non Records
– Non-records are materials that are not essential to the fulfillment of legal,
business, administrative or other obligations, or to documenting the decision-
making process. Records that can be destroyed as they no longer hold value
for the business operations.
ACTIVITY - Examine your organization and complete the table
below.

Record Record Record

(Current) (Semi-Current) (Non-current)
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RECORDS AND INFORMATION MANAGEMENT – RIM

Field of management responsible for the efficient and systematic control of the
creation, receipt, maintenance, use and disposition of records, including processes
for capturing and maintaining evidence of and information about business activities
and transactions in the form of records. – ISO 15489: 2016

Video File

Activity
From the video fil above, in your own words what do you believe records and
information management mean to your organization? What role do you play
in the management of records in your organization?
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Record is not only focused on the concept of maintaining evidence, they are critical
to the business operations and as such the organization must ensure that its records
are of sufficient Quality and Completeness.

In conducting the business of the organization staff must keep full and accurate
records. This is also for legal protection, internal and external scrutiny, financial and
other regulatory compliance.

In other words, for records to serve the organization and all its stakeholders, records
regardless of their format should be:
 comprehensive: a record should be created for every transaction for which
evidence is required.

 accurate: a record should accurately document the transaction that gives rise
to it.

 adequate: a record should be adequate for the purposes for which it is kept
(in other words, the record should contain the information necessary to
provide evidence of the transaction it documents).

 complete and meaningful: as well as containing sufficient information to

document a transaction, a record should include sufficient information about
the context in which it was created and used, about its structure or physical
form, and about its linkages to other records, to enable its contents to be
understood.

 understandable and usable: it should be possible to extract from the record

the information it contains and is intended to convey; and it should be possible
to use the record without loss of information.

 authentic: as already noted, it should be possible to prove that the record is

what it says it is.
  unaltered: no information in the record should be deleted, altered, or lost,
whether deliberately or accidentally, once the transaction that gave rise to it
has taken place (in other words, records must be securely maintained, and
unauthorised access or use must be prevented).

 compliant: the record should comply with any regulatory and accountability
requirements that apply to the organisation that created it, such as audit
requirements.

Therefore, if records are to be considered complete, reliable, and authentic, they

must be managed within information systems that control them throughout their
existence, from creation to ultimate disposal.
 RIM AND THE GOVERNMENT OF JAMAICA (GOJ)

The GoJ RIM programme is a component of the Integrated Information and

Communication Technologies ethos of the Public Sector Transformation and
Modernization Programme (PSTMP).

The primary focus of the GoJ is to standardize the management of official records
with the GoJ across all MDAs. This is to ensure that all activities and decisions of the
GoJ are fully accurately documented, managed, and monitored in accordance with the
regulatory framework and the principles of the records lifecycle.

Main Objectives of the GoJ RIM Programme

 Accessible, efficient, and effective service delivery. Data sharing
across MDAs, ease of doing business (local and international);
research and attraction of investment.
 Increased Transparency and accountability concerning records
lifecycle processes, while conforming to with local policies and
standards and international best practices.
 Preservation of National and cultural identity leveraged cultural assets,
informed citizenry, and the overall attainment of National
developmental goals.

Primary concerns of RIM Programme

 Organizing active records for easy retrieval
 Ensuring compliance with recordkeeping laws and regulation
 Determining how long we should keep records.
 Protecting vital records
 Systematically managing inactive records
RECORDS MANAGEMENT – GLOBAL PERSPECTIVES
The below individual and collective groups form the basis upon which the RIM global community is built. Groups
of subject matter experts locally and internationally work on implementing and revising the principles that govern
the profession.

 Global Community – ARMA, NARA

 Local Community – G-RIM, JARD, RIM Committees

 Conferences/Workshops – JARD, G-RIM, ARMA & MER

 Technology – Office 365, SharePoint, Artificial Intelligence

 E – RIM – Green Initiative – World Sustainable Initiative

 Compliance – ISO, Legislations, Acts, Policies

 Nine (9) Core Elements of an Effective RIM Programme

Activity

Which of the Nine (9) Core Elements do you believe is the most important to the
Organization’s RIM Programme. Provide an explanation for your choice.

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RIM – BUSINESS CASE

Records management is a
cornerstone of effective
operations in ANY
Organisation
RIM and Successful Organization – Business Case
 Executive Support – Key to a successful RIM Programme. Executive
champion solidifies the seriousness in which the organization’s management
views records Management.

 Budget Allocation – Financial support is required to access tools and

equipment needed to implement a sound records management programme.

 Training and Practices – training for RIM professionals across the

organization helps to build a collaborative and integrated RIM Programme.
This goes beyond the registry, data centres, archives, and records unit. Once
an employee processes information, RIM training and sensitization is
required.
 IT Collaboration - This is to ensure that the organization optimizes its
spending relating to compatible records management tools and equipment.
Conversation around retention, disposition, conversion, storage among other
RIM functionalities ought to be explored with IT.

 Legal – important to consult with organization legal team especially when

developing RIM Programme. They ensure that the records policy and
procedures comply with all applicable laws and regulations. Legal can assist
with identifying potential records involving litigation. Legal can save the
organization from huge penalties because of breaches involving RIM
compliance. Good RIM Programme Protects the organization from
government investigation or potential litigation.

ACTIVITY

Think of three (3) activities you do that you always document. Then think of
three activities that you do not document.
Write down a list of as many activities as you can think of and ask yourself why
you do or do not document them. Should you document them? Why or why
not?
THE PRINCIPLES (FORMERLY – GARP)

ACTIVITY
Research the meaning of the eight (8) principles. You are then required to
align each principle roles, functions, or activities in your organization.

Principle Alignment to Org X

Accountability – a senior executive The Chief Executive Officer (CEO) is
assuming responsibility for RIM in responsible for the RIM programme at
organization X…… Organization X. He/she demonstrate this by
……..
THE CHARACTERISTICS OF RECORDS

Integrity – The record represented is Useability – Record that can be

complete and unaltered. Any located, retrieved, presented, and
authorized annotation, addition or interpreted.
deletion to a record should be
explicitly indicated and traceable.

Reliability – The trustworthiness of the Authenticity – A record which can

record. The contents can be trusted as a be proven beyond doubt in regard to
full and accurate representation of the what it purports to be; to have been
transactions, activities, or facts. Records created or sent by the person who
should be created at the time of the claimed to have created or sent it and
transaction or incident to which they to have been created or sent at the
relate, or soon afterwards, by individuals time purported.
who have direct knowledge of the facts.

Context – The background information which enhances

understanding of technical and business environments to
which the records relate. E.g., metadata, application
software, logical business models. Origin also plays a vital
role in context i.e., titles, links to activity, creator, date
signature etc.
Structure – The appearance and arrangement of the
content. E.g., The relationship between fields, entities,
language, style, fonts, page, links and other editorial devices
THE VALUE OF RECORDS

Financial Value - Refers to records documenting receipt and use of funds,

particularly financial transactions such as expenditure, costs, and revenue.

Legal Value - Value in terms of showing compliance with regulatory and statutory
requirements.

Administrative Value - Records used for administrative purposes only.

Business/Evidential Value - Value in terms of contribution to business operation,

includes business critical, strategy and policy records.

Historical Value - Information that documents the history or development of the

organization and the regulatory environment and may be used for future research.

Useful Guide
The information below is a useful guide to determining if documented information
continues to have values that are useful to an organization.
ACTIVITY:

Examine your organization and list the types of records that would fall under
the respective headings.
Each MDA will generate different types of records. See below the common values
ascribe to various records.
TYPES AND FORMATS OF RECORDS

Two categories of Records are as follow:

 Physical

Electronic
 THE RECORDS LIFE CYCLE

ACTIVITY – What do you understand from the concept “RECORDS LIFECYCLE”

Watch Video

Creation and or Receipt – This phase focuses predominantly on the

origination of documents or records that are found in the possession,
custody, or control of the organization. It also involves the identification
and capture of records and allows for the capture of context and
connection of related records. This phase shall involve the creation or
receipt of various pieces of documented information by different process
owners within the organization.

Distribution – This phase of the cycle shall entail the internal and external
distribution of documented information to support activities or
transactions.

Use – This phase of the cycle will focus on documented information of

the organization that shall be held in pursuance of organization legal
obligations as well as to show evidence of business activities and
transactions.

Maintenance – This phase of the records life cycle shall involve several
activities and transactions including the process of filing, storing,
retrieving, and transferring documented information. It shall also involve
maintaining the condition and environment in which documented
information of all types and media are held.

Disposition – This phase will focus on the range of processes associated

 with implementing records retention, destruction, or transfer decisions,
which are documented in disposition authorities or other instruments.
ACTIVITY:

In your own words what you know about the records lifecycle concept and
how does it relate to your organization. Please provide examples in your
discussion.

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 SUMMARY

Records - information created, received, and maintained as evidence and as asset

by an organization or person, in conducting business transactions.

The GoJ through its Public Sector Modernization Department is collectively

looking at initiatives to strengthen the RIM programme across Jamaica. This will
enable greater security among the nation’s information assets, promote
information sharing across the MDA’s.

RIM is a global phenomenon, the communities, networks, and innovations are

changing rapidly as the field of records management evolves. Technology and
human capital will continue to shape the trends of managing records.

Characteristics of records – integrity, useability, authenticity, and reliability are

all essential components of a record. This is fueled by the Principles and noted
by ARMA. We must try to adopt the principles in our management of records
within our departments and across the organization.

Records Lifecycle is essential to any RIM programme. This should be embedded

in the culture of the organization supported by top Management/Executives.
STUDY QUESTIONS –

1) What are records?

2) What is information?
3) What do records help an organisation to do?
4) Why are public sector records fundamental to the GoJ?
5) How do records serve as evidence?
6) How do records preserve a nation’s collective memory?
7) What is records management?
8) What is the life-cycle concept?
9) Define current records, semi-current records, and non-current records.
10) Describe the value of records and provide examples of each?